Post-meeting compliance checklist

This checklist will guide you through a series of compliance checks after your client meeting. It will help you to remain up to date with compliance areas such as:

• Ensuring that a file note has been written and saved on file.
• An RoA has been completed and saved on file.
• Any updated client data has been saved on file.
• Opt-In paperwork has been signed.
• Any items that needed addressing by the client have been completed.
• You can also add practice-specific items to the list.

This template is available for download in the following formats:

• editable PDF, and
• automated Word document.

If you would like to customise this checklist please contact us and we’d be happy to help!